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BD to Pay $150K Over Reg BI, Form CRS Failures
News April 01, 2025 at 07:53 PM
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What You Need To Know
- Thurston Springer's written supervisory procedures only discussed Reg BI in general terms, FINRA states.
- The firm’s WSPs did not include procedures for delivering the Form CRS to retail customers.
- The BD failed to establish, maintain and enforce a reasonable supervisory system for email reviews.
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